Introductory Text
Provisions for regulating the Business of Dealing in Securities
1.Licensing of dealers in securities
2.Saving for certain transactions
3.Applications for, and grant and extent of, licences
4.Deposits or guarantees required in connection with applications for principals' licences
5.Refusal and revocation of licences
6.References to tribunal of inquiry
7.Rules of Board of Trade with respect to conduct of business of licensed dealers
8.Information to be furnished to Board of Trade by holders of licences
9.Publication of names of holders of principals' licences
Provisions as to Industrial and Provident Societies, Building Societies and Unit Trusts
10.Provisions as to industrial and provident societies
11.Provisions as to building societies
12.Provisions as to unit trusts
General Provisions for the Prevention of Fraud
13.Penalty for fraudulently inducing persons to invest money
14.Restriction on distribution of circulars relating to investments
Exemptions
15.Stock exchanges and associations of dealers in securities
16.Exemption of certain dealers
17.Authorised unit trust schemes
Supplementary Provisions
18.False statements
19.Offences committed by corporations
20.Venue in summary proceedings
21.Regulations
22.Parliamentary control of rules and regulations
23.Service of notices
24.Exercise of powers of Board of Trade
25.Payment of expenses and appropriation of fees
26.Interpretation
27.Application to Scotland
28.Repeal and savings
29.Short title, extent and commencement
SCHEDULES
FIRST SCHEDULE
Matters for which trust deeds pursuant to unit trust schemes must provide
1.For determining the manner in which the manager's prices for...
2.For regulating the mode of execution and the issue of...
3.For prohibiting or restricting the issue by or on behalf...
4.For securing that any advertisement, circular or other document containing...
5.For the establishment of a fund to be applied in...
6.For the audit, and the circulation to holders of units,...
7.For requiring the manager (subject to any provisions as to...
SECOND SCHEDULE
Enactments repealed